Learner disciplinary procedure and code of conduct
1. Introduction and Overview
1.1. DMR Training & Consultancy Ltd (DMR) is committed to providing a learning environment which encourages all learners to fulfil their potential. Learners include participants who may be undertaking adult skills fund, apprenticeships, commercial and other training and qualification programmes.
1.2. The DMR learner disciplinary procedure applies to, and is intended to encourage, all learners to meet the standards of behaviour and conduct required by DMR and the good citizenship skills that are required in the wider community and to ensure the consistent, impartial and fair treatment of all learners regardless of their age, race, gender, disability, religious beliefs, sexual orientation, gender reassignment and pregnancy.
1.3. Misconduct is defined as unacceptable behaviour that adversely affects training, teaching and learning or the rights and property of other learners, members of staff and visitors. Such misconduct could occur within the confines of a DMR training centre and/or outside the training centre environment where an incident has a direct impact on the training centre environment, services and/or other learners e.g. cyberbullying.
1.4. The disciplinary procedure aims to ensure that where allegations of misconduct are made, the facts are established and the matter is fully investigated before any disciplinary action is taken, to ensure that learners know what is expected of them, to ensure that learners are given access to a fair hearing and to have due regard to the spirit of natural justice.
1.5. Each case will be investigated on its own merits and decisions are normally based on the balance of probability that an incident did or did not take place. Learners will have the right to be accompanied by a parent or guardian or friend at all stages of the procedure. The role of the learner’s representative is to provide moral support and ensure that learners have understood the process and any questions being asked. It is not the role of the representative to speak on behalf of the learner. The procedure does not allow for legal representation on behalf of learners in disciplinary interviews.
1.6. In the event of an apprentice being involved in a disciplinary situation, his or her employer will also be informed at the first opportunity.
1.7. The police will be informed if the law has been broken. Any incidents that may be deemed as a possibility of radicalisation must be reported to the Managing Director even if, subsequently, it is deemed to be a false alarm.
2. Responsibility
2.1. The Managing Director will usually appoint a senior member of staff, usually the Head of Business Development, to investigate all incidents of misconduct. The Managing Director will usually handle all appeals made by learners. In matters of gross misconduct, the Managing Director may lead the investigation process with another member of staff not involved in the investigation handling any ensuing appeal.
3. Code of Conduct for Learners
3.1. The Code of Conduct is designed to encourage all learners to meet the general standards of behaviour, conduct, attendance and performance expected by DMR whilst they are at the DMR training centre or taking part in training or qualification programme.
3.2. The Code of Conduct is intended to: –
3.2.1. Ensure that every learner achieves their individual potential;
3.2.2. Ensure that learners show commitment to training and positive behaviour;
3.2.3. Ensure that learners show respect for others and themselves irrespective of the protected
characteristics (age, disability, gender reassignment, race, religion or belief, sex, sexual
orientation, marriage and civil partnership, and pregnancy and maternity);
3.2.4. Enable learners, members of staff, visitors and contractors using a DMR training centre
to undertake their activities without interference of any kind;
3.2.5. Support learners to recognise the need to respect the law at all times, develop behaviours
to support their employability and their contribution to the community as citizens;
3.2.6. Ensure that learners, members of staff, visitors and contractors and others in a DMR
training centre are safe and secure;
3.3. Learners are required to: –
3.3.1. Treat everyone with respect and make sure that their behaviour does not discriminate
against anyone or make anyone feel uncomfortable;
3.3.2. Respect the rights and interests of other learners, members of staff, visitors and
contractors;
3.3.3. Attend all required training activities regularly and punctually;
3.3.4. Explain to their Assessor any reason for non-attendance;
3.3.5. Take personal responsibility for their own learning and make active use of the learning
resources and support services provided;
3.3.6. Work hard and complete all work within specified deadlines;
3.3.7. Take an active part in reviewing their progress with their Assessor;
3.3.8. Seek help and support from their Assessor if they need it;
3.3.9. Act safely so that they do not put themselves or others at risk and observe all health and
safety rules;
3.3.10. Act with consideration for the training centre environment and other learners, members
of staff, visitors and contractors e.g. by not dropping litter and chewing gum;
3.4. Learners must not: –
3.4.1. Behave in a disruptive, aggressive, intimidating, bullying, indecent or unruly manner;
3.4.2. Disrupt or interfere with the training and learning of fellow learners;
3.4.3. Display or circulate any material which is designed to cause offence or distress to others;
3.4.4. Misuse training centre property and equipment, including IT or health and safety
equipment;
3.4.5. Be intoxicated or be incapable of undertaking their training programme or qualification
because of excessive drinking or use of controlled substances;
3.4.6. Smoke anywhere other than in designated smoking areas;
3.4.7. Consume, possess or supply toxic, dangerous or controlled substances;
3.4.8. Make or send annoying, obscene, malicious or indecent telephone calls, letters, SMS
messages, text messages or emails, or place malicious or offensive materials on any
electronic media;
3.4.9. Cause malicious damage to, or theft of, the property of other learners, members of staff,
visitors or contractors;
3.4.10. Use foul or abusive language;
3.4.11. Gain unauthorised access to, or make modifications to, DMR’s files or computer
material;
3.4.12. Enter any part of a training centre to which learners are not entitled to access;
3.4.13. Carry any weapon or any other object with the intention or purpose of use in a
threatening way;
3.4.14. Falsify training programme or qualification documents;
3.4.15. Submit materials or work for assessment which have not been made or authorised by
the individual, or which have been copied from other learners or sources without
acknowledging or referencing those sources (plagiarism);
3.4.16. Use mobile phones and devices during training sessions unless instructed;
3.4.17. Take part in any illegal activity;
3.4.18. Behave in a way that adversely affects the reputation of DMR.
3.5. If learners do not follow the Code of Conduct, then disciplinary action may be taken in accordance with the Disciplinary Procedure.
3.6. All matters relating to Code of Conduct incidents will be dealt with in strict confidence and information concerning safeguarding and child protection matters will only be shared on a strict need to know basis.
3.7. DMR reserves the right to investigate incidents which occur off-site if they are between two (or more) learners, or learner(s) and a member of staff.
3.8. Every effort will be made to ensure that learners can continue their learning whilst an incident is being investigated.
4. Searching a Learner and/or Their Possessions
4.1. DMR has a zero tolerance for drugs/alcohol or any equipment/activities that may lead to a threat or violence.
4.2. If a member of staff suspects a learner being under the influence of drugs or in possession of drugs, drug related tools, an offensive weapon or indecent or inappropriate materials, then he or she should inform the Managing Director immediately.
4.3. The Managing Director will make an assessment of whether the situation is suspicious or not. If there is a valid concern, the Managing Director will inform the relevant learner of the allegation and that their possessions are going to be the subject of a search and that the learner will be escorted to a private area where the search will be conducted.
4.4. The learner will be requested to empty all bags, turn out all pockets and take off their jacket and shoes.
4.5. Only the Managing Director (or a designated senior member of staff) will conduct a learner search. Another member of staff will be enlisted for support in such situations, but only as a witness.
4.6. If a learner is found to possess an item that may be deemed suspicious, then the Managing Director may take such an item off the learner and suspend the learner, pending a disciplinary meeting.
4.7. If a learner refuses to cooperate with the instructions of the Managing Director to participate in being searched or surrendering drugs, drug-related tools, offensive weapons or indecent or inappropriate materials, or refuses to hand over a suspicious item, then the Managing Director may suspend the learner pending the arranging of a disciplinary meeting. The learner will be asked to leave the training centre premises immediately and he or she will be escorted off the premises.
4.8. If the learner refuses to leave the training centre premises, then the Managing Director may choose to enlist the support of the police.
4.9. If the learner is not in possession of anything that may be deemed suspicious, then no further action will be taken.
5. Gross Misconduct
5.1. Gross misconduct is generally classed as serious misconduct where DMR considers that it is not possible to continue to allow a learner to undertake a training or qualification programme or attend a training centre. If proven, it would normally result in a learner being excluded from the training centre and removed from their training or qualification programme.
5.2. The following are examples of gross misconduct: –
5.2.1. Theft or unauthorised possession of any property or facilities belonging to DMR or any
member of staff or learner;
5.2.2. Serious damage deliberately sustained to DMR’s, learners’, members of staff’s or
members of the public’s property;
5.2.3. Deliberate falsification of training or qualification programme documentation and records;
5.2.4. Providing false identity or documentation;
5.2.5. Serious negligence which causes unacceptable loss, damage or injury;
5.2.6. Violent, dangerous or intimidatory conduct including carrying or use of weapons;
5.2.7. Deliberate violation of DMR’s rules and procedures concerning health and safety,
including tampering with or misuse of emergency or fire safety equipment and similar
conduct and damaging or destroying property by using fireworks or explosives;
5.2.8. Incapacity owing to the consumption of alcohol or misuse of drugs. Any prescribed
medical treatment or condition will be taken into account when determining what action is
appropriate;
5.2.9. Possession or distribution of alcohol or drugs;
5.2.10. Serious misuse of DMR’s property or equipment, including use of photocopiers, phones
and other IT equipment for personal purposes without prior agreement;
5.2.11. Harassment, victimisation or discrimination against another learner or member of staff on
any grounds, including age, disability, ethnic origin, gender, sexual orientation, marital
status and religious belief;
5.2.12. A criminal offence which may adversely affect DMR’s reputation or the learner’s
suitability to continue on a training or qualification programme e.g. the supply or purchase of illegal substances;
5.2.13. Repeated breaches of the Code of Conduct.
6. Criminal Activity
6.1. DMR reserves the right to report criminal activity to the police and/or to advise victims of such activity of their right to do so. If an incident is serious and of a criminal nature, DMR may defer disciplinary action pending the outcome of criminal proceedings. In exceptional circumstances, DMR may also take the decision to suspend a learner until the outcome of criminal proceedings is known.
7. Suspension
7.1. In cases where the alleged misconduct is serious and/or it may be detrimental to the smooth running of the training or qualification programme or a training centre for a learner to remain on-site, a suspension period may need to be considered while the case is being investigated.
7.2. In such cases the learner will be informed of the reason for his/her suspension. This will be confirmed in writing, with a copy to the learner’s parent or guardian if he/she is under 18 and the employer, if the learner is an apprentice.
7.3. A suspension is not a punishment and does not automatically presume guilt. It is to allow DMR to investigate the alleged misconduct fully and gather evidence unheeded or to recognise that there may be safety considerations either for the learner or others. If two or more learners are involved in the alleged offence and if suspension is considered appropriate, then usually all learners will be suspended.
7.4. The period of suspension will be kept to a minimum, but will usually be no longer than four weeks (unless DMR is awaiting the outcome of criminal proceedings).
7.5. If a learner breaches the terms of a suspension, for example by being at a training centre premises without valid reason, then the period of suspension may be extended.
7.6. The suspension should remain in force until the disciplinary meeting has been held. The learner will be permitted to attend a DMR training centre for the disciplinary meeting.
7.7. During any suspension period, the learner’s absence from the training centre will be considered to be authorised.
7.8. The Managing Director or a nominated member of staff at his discretion, usually the Head of Business Development, will approve the suspension of a learner.
8. Disciplinary Procedure
8.1. The following procedure will be used if a learner breaches the Code of Conduct: –
8.2. Informal Stage
8.2.1. For non-serious, minor or first instances of misconduct, the Assessor or other
member of staff may deal with the incident by means of an informal verbal warning. In
such instances the learner will be advised of DMR’s Code of Conduct, the standards of
behaviour expected and that any further misconduct will be dealt with formally under this
Disciplinary Procedure;
8.2.2. Examples of incidents that may be dealt with informally are the first instances of lateness,
the use of mobile telephone during a training session, unauthorised eating in a training
session, swearing and bad language, unprofessional behaviour such as resting feet on a
chair or table, wearing a hood or inappropriate dress in a training session, smoking within
a designated non-smoking area etc.
8.2.3. The Assessor or other member of staff will log the issuing of an informal verbal
warning with the Head of Business Development in the event that any further misconduct may be committed.
8.3. Formal Stage
8.3.1. The Managing Director will usually appoint a senior member of staff, usually the Head of
Business Development, to investigate reported allegations of misconduct by a learner or learners;
8.3.2. A thorough investigation into the alleged misconduct will take place before a disciplinary
meeting is held or disciplinary action taken. The investigation process is likely to involve
interviewing and gaining information from relevant members of staff and learners who
were involved in or who witnessed the alleged misconduct. All such investigation
interviews will be documented in writing;
8.3.3. Members of staff or learners who were witnesses to an incident have the right to choose
not to take part in the investigation;
8.3.4. Once the investigation is complete, the Investigation Officer will normally arrange a
disciplinary meeting with the learner against whom the allegation of misconduct was
made;
8.3.5. The Investigation Officer will issue a copy of the Learner Disciplinary Procedure and Code
of Conduct to the learner;
8.3.6. The Investigation Officer will inform the learner’s parent or guardian if the learner is under
the age of 18 and the employer, if the learner is an apprentice;
8.3.7. The learner may be accompanied at the disciplinary meeting by a parent/guardian or friend;
8.3.8. The member of staff conducting a disciplinary meeting (at whatever stage) should: –
8.3.8.1. Outline the reason for the meeting;
8.3.8.2. Explain the process to be followed;
8.3.8.3. Describe the possible outcomes of the meeting;
8.3.8.4. Ask the learner to confirm their understanding of the process and possible outcomes;
8.3.8.5. Present the evidence arising from the investigation;
8.3.8.6. Ask the learner to respond to the evidence and/or present their own version of events;
8.3.8.7. Give the learner the opportunity to ask questions;
8.3.8.8. Give the learner the opportunity to provide any further information they feel relevant;
8.3.8.9. Inform the learner if there is a likelihood of police involvement and explain that DMR will give the police access to any evidence as appropriate or required;
8.3.8.10. Confirm to the learner that the outcome of the meeting will be in writing within 5 working days of the disciplinary meeting;
8.3.8.11. Failure to attend a disciplinary meeting may result in a decision being made in the absence of the learner;
8.3.9. The following outcomes of the disciplinary meeting are possible: –
8.3.9.1. No case to answer;
8.3.9.2. Learner offered counselling/support;
8.3.9.3. The allegation(s) are substantiated and there is a case to answer. The burden of proof is based on the balance of probabilities;
8.3.9.4. Where there is a case to answer, disciplinary action will be taken within the disciplinary framework.
9. Disciplinary Framework
9.1. Recorded verbal warning
9.1.1. In cases too serious for informal action, or where misconduct persists despite an earlier informal warning, learners may be given a recorded verbal warning,
9.1.2. The learner will be advised that, if any further misconduct of any kind occurs, he/she may be disciplined further.
9.2. First written warning
9.2.1. If further misconduct occurs or if a learner’s behaviour does not improve after a recorded verbal warning, a first written warning may be given following an investigation and disciplinary meeting. Alternatively, if the misconduct is deemed more serious, the investigating officer may proceed directly to the final written warning stage;
9.2.2. The learner will be advised that, if any further misconduct of any kind occurs, he or she may be disciplined further;
9.2.3. Examples of incidents that may be dealt with by a first written warning are continued poor attendance, making inappropriate comments that may be interpreted as bullying, discriminatory, belittling etc, littering the training centre, spitting, poor attitude towards an Assessor or other member of staff, refusing to work in a training session, being rude to other learners, members of staff, visitors or contractors and the repeated instances of behaviour that led to a recorded verbal warning.
9.3. Final written warning
9.3.1. If further misconduct occurs following the previous warnings a final written warning maybe given. Alternatively, where serious misconduct has occurred, a learner may be given an immediate final written warning;
9.3.2. Additionally, the learner will be informed that further misconduct or failure to meet the expected standards of conduct and behaviour will result in his/her exclusion from the training centre and removal from the training or qualification programme.
9.4. Expulsion and removal from training or qualification programme
9.4.1. If misconduct persists despite the final written warning, or in instances of gross misconduct, a learner will be excluded from the training centre and removed from their training or qualification programme;
9.4.2. If a learner is excluded from the training centre and removed from their training programme, then he or she will receive a letter stating the reason for the exclusion and removal from the training or qualification programme.
9.5. In some circumstances, it may be appropriate to agree an action plan with targets for improvement or other conditions with the learner for a specified period, with built in review dates by the Assessor. Failure to improve or to meet the outcomes of the action plan would result in the disciplinary process progressing to the next stage. 9.6. Learners may be offered support e.g. learning support, counselling, mentoring, coaching or close supervision, as may be required.
9.7. Details of all recorded oral warnings and first and final written warnings will remain on file for 12 months from the date of the warning being issued.
9.8. All notes related to the disciplinary process and framework will be retained on file.
9.9. Copies of all correspondence relating to disciplinary meetings, verbal and written warnings, suspensions and exclusions should be sent to parents and guardians in respect of learners who are aged under 18 and employers, where the learner is an apprentice.
10. Appeals
10.1. Appeals are permitted at all stages of the disciplinary framework except in the case of an informal verbal warning.
10.2. The learner must submit their appeal in writing, within 5 working days of receipt of the disciplinary warning/exclusion/removal outcome letter, stating the grounds for appeal. The letter will have stated to whom the appeal should be made, in most cases this will be the Managing Director. The member of staff concerned would not have had any involvement with the case.
10.3. There are usually only three grounds for appeal: –
10.3.1. The learner was not provided with a fair hearing;
10.3.2. There is new evidence that was unavailable at the earlier meeting or interview that would have affected the outcome;
10.3.3. The penalty imposed was disproportionate to the act of misconduct.
10.4. The member of staff conducting the appeal will arrange an appeal meeting interview with the learner within 5 working days of receiving the appeal letter. The appeal meeting will normally take place within another 5 working days and the learner being notified of the outcome decision in writing within a further 5 working days.
10.5. The member of staff conducting the appeal hearing will take evidence from the learner and review the findings of earlier disciplinary meetings. The learner may be accompanied by a parent or guardian or friend and may request the attendance of other parties.
10.6. The appeal meeting will have one of three outcomes: –
10.6.1. That both the original outcome and the penalty imposed be upheld;
10.6.2. That the original outcome is confirmed, but that the penalty is re-determined;
10.6.3. That the original outcome is overruled.
10.7. The outcome of the appeal will be final.
10.8. Once the appeal process has taken place, learners could contact the funding body, devolved local authority or lead training provider, where appropriate or applicable.
10.9. Learners whose training programme or qualification is/was funded by the Department for
Work and Pensions (DWP) may contact the DWP at DWP Complaints, Post Handling Site B, Wolverhampton WV99 2GY. Telephone 0844 556 9355.
10.10. Learners whose training programme or qualification is/was funded by the Greater London Authority (GLA) may contact the GLA at Skillscomplaints@london.gov.uk
10.11. Learners whose training programme or qualification is/was funded by the Greater Manchester
Combined Authority (GMCA) may contact the GMCA by e-mail or letter at
GreaterManchesterAEB@greatermanchester-ca.gov.uk (ensuring that ‘Complaint’ is included
in the email subject heading) or The Skills & Employment Team (Adult Education), GMCA
Churchgate House, 56 Oxford Street Manchester M1 6EU.
11. Retention of Documents, Records and Data
11.1. All documents, records and data relating to a disciplinary process shall be retained. securely for a period of at least 3 years after the relevant period.
12. Review
12.1. This policy will be reviewed at least annually.• Implementation date: July 2014
• Last reviewed date: April 2025.